Execution Broker definition

Execution Broker means a licensed or registered securities broker in the exchanges in the United States of America (“USA”) as appointed by the Company as designated broker which executes the transactions in relation to US Stock Options and/or clearing the same. 「執行經紀」指本公司所委任的指定經紀，其為在美國交易所的註冊經紀，它將執行美國股票期權交易及/或結算。
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Execution Broker means (i) the financial institution with SFC Type 1 license which will be used to execute the shares trading orders or (ii) such other financial institution with the proper license(s) to execute shares trading orders in the appropriate market(s) as introduced by the Introducing Broker;
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Execution Broker means a third-party regulated financial institution to whom the Company transmits the Orders received from Clients on the Trading Platform and who is responsible for the Order execution on an Execution Venue.
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Examples of Execution Broker in a sentence

  • Notwithstanding anything herein to the contrary, all Managed Portfolio in the securities account held in the Authorised Execution Broker are assets of, and solely owned by, the Client and remain such at all times.

  • Under no circumstances shall the Manager have or take, or direct any person other than the Authorised Execution Broker to have or take custody and/ or physical control of the Managed Portfolio.

  • The Authorised Execution Broker shall at all times have custody and/ or physical control of the Managed Portfolio unless otherwise directed by the Client to deposit or transfer all or any portion of such Managed Portfolio elsewhere.

  • Hepatic expression of multiple acute proteins and down-regulation of nuclear receptors after acute endotoxin exposure.

  • As a result of the Pre-Trade Checking requirements, the Bank (through the Execution Broker and/or the Custodian) may process an instruction to sell Stock Connect Securities that were bought on T day only on or after the applicable cut-off time (as notified to the Customer by the Bank from time to time) on T+1 day subject to any applicable Stock Connect Rules and/or Stock Connect Laws.

  • If the trade is rejected, SDC cannot put any claim on client’s assets e.g. a force sells on the client’s securities.All rejected trades are placed to (and settled from) a special principle account of the corresponding Execution Broker – Rejection Account.

  • In order to prevent settlement of rejected sell trades to fail or resolve failed settlement, Execution Broker or SDC could/will conduct variety types of fails management.

  • Rejections are irrevocable, however if client provides late confirmation for the trade (until T+4), Execution Broker and client (via Independent Custody Member) can facilitate an FOP transfer to rectify the rejection.

  • All trades that are not rejected until the cut-off time, which is 11:00 a.m. T+2, are treated as confirmed and will be settled from clients’ accounts.All rejections are final and cannot be reversed or canceled, neither by Independent Custody Member nor by Execution Broker.Responsibility for the settlement of rejected trades lies completely with the Execution Broker.

  • In order to cover shortage of securities, Execution Broker can transfer such securities from its principle (proprietary trading) account to its Rejection Account using same NIN FOP transfer.This operation could be conducted at any time until the end of day T+4.


More Definitions of Execution Broker

Execution Broker means (1) regarding US Stock Options Trading, a licensed or registered securities broker in the exchanges in the United States of America (“USA”) as appointed by the Company as designated broker which executes the transactions in relation to US Stock Options and/or clearing the same; (2) regarding OTC Stock Options Trading, a licensed or registered securities broker as appointed by the Company as designated broker which executes the transaction in relation to OTC Stock Options and/or clearing the same . 「執行經紀」指(1)關於美國股票期權交易，本公司所委任的指定經紀，其為在美國交易所的註冊經紀，它將執行美國股票期權交易及/或結算; (2) 關於場外股票期權交易，本公司所委任的指定持牌或註冊經紀，它將執行場外股票期權交易及/或結算。
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Related to Execution Broker

  • Seller’s Broker means Xxxxxxxx Xxxxxxxx Xxxxxx, X.X.

  • Data Broker means either of the following:

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Designated Broker Agreement means an agreement between the Manager, on behalf of an ETF, and the Designated Broker;

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Associate broker means a licensed broker who is employed by

  • Mortgage broker means any person who for compensation or

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Customs Broker Agreement means an agreement, in form reasonably satisfactory to the Collateral Agent, in which the customs broker or other carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Collateral Agent and agrees, upon notice from the Collateral Agent, to hold and dispose of such Inventory solely as directed by the Collateral Agent.

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • insurance broker means an insurance brokerage firm,

  • Customs Broker/Carrier Agreement means an agreement in form and substance satisfactory to the Agent among a Loan Party, a customs broker, freight forwarder, consolidator, or carrier, and the Agent, in which the customs broker, freight forwarder, consolidator, or carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Agent and agrees, upon notice from the Agent, to hold and dispose of the subject Inventory solely as directed by the Agent.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • Affiliation Agreement means a written agreement between the governing authority of the program and another organization under the terms of which specified services, space or personnel are provided to one organization by the other, but without exchange of moneys.

  • REAL ESTATE BROKERS (See also Paragraph 15) REPRESENTATION: The following real estate brokers (collectively, the "BROKERS") and brokerage relationships exist in this transaction (check applicable boxes): [X] XXXX Commercial Real Estate Services represents Lessor exclusively ("LESSOR'S BROKER"); [X] The Xxxxxx Co. represents Lessee exclusively ("LESSEE'S BROKER"); or [ ] _______________________________ represents both Lessor and Lessee ("DUAL AGENCY").

  • investor of a Contracting Party means: (a) A natural person having the nationality of a Contracting Party in accordance with its applicable law; or (b) An enterprise constituted or organised under the applicable law of a Contracting Party; Making or having made an investment in the other Contracting Party's territory.

  • Brokerage services means those activities identified in sections 543B.3 and 543B.6.

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.